Conflicts of Interest in Asset Management - A Practical Guide

Introduction

Conflicts of interest in the asset management industry is a key area of law and regulation.

As conflicts of interest arise in many aspects of asset management, it is important for asset management firms to have arrangements in place to enable them to identify, manage and monitor the conflicts of interest that occur within their business effectively.

This new virtual classroom seminar will look at the law and regulation that is relevant to asset managers in the management of conflicts of interest, providing practical examples of conflicts and how they are managed.

The session is suitable for lawyers, compliance professionals, FCA regulated persons, and professionals working in the financial services industry.

What You Will Learn

This live and interactive course will cover the following:

• The main UK and EU Regulations covering the management of conflicts of interest
• Types of conflicts
• Managing conflicts
• Disclosing conflicts
• Conflict of interest policies
• Conflict of interest registers
• Recent enforcement cases on conflicts of interest

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.